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Head of Compliance and Legal (UK Start-Up) 

Fund Management Compliance Experience Required


£90K - £130K + Bonus & Benefits

Hybrid (London)

Ref: 3993G

Our Client, a well-established Global Asset Manager, is looking to hire a new Head of Compliance, Legal & MLRO for their first UK Branch.  Initially operating in the UK as an AR you will assist with the full FCA Application and in time become the registered SMF16 and SMF17, tasked with supporting the CEO and Board in further developing the compliance function, frameworks and programme.  As part of the UK senior management team and reporting directly to the UK CEO, duties will include:

  • Development and implementation of a comprehensive compliance program, ensuring the business remains compliant with all relevant UK & EU laws, regulations and best practice.
  • Act as a primary point of contact for FCA during application process and once authorised,  maintain a strong and effective relationship with the FCA.
  • Oversight of AML and CTF policies, ensuring adherence to legal obligations and best practices
  • Continuously monitor and assess the company's exposure to regulatory risk, identifying areas for improvement and implementing appropriate controls.
  • Review and update policies and procedures regularly.
  • Report compliance findings to senior management and recommend corrective actions.
  • Stay up to date with regulatory changes and industry trends, ensuring that the compliance program evolves as necessary.
  • Review and approve financial promotions/presentations and advise on global marketing & distribution queries across investment vehicles.
  • Review and execute agreements and legal documentation with clients, vendors etc
  • Liaise with external and internal legal counsel on legal matters.
  • Review and evaluation of new instruments, vehicles, geographies etc. to identify compliance issues and needs.

The successful candidate will have a LLB as a minimum and must have gained at least seven years of fund management FCA compliance experience, with a good knowledge of relevant UK and EU rules and regulations. Previous legal experience is useful but more important is  a “sleeves rolled up approach”, willing to learn new material, taking responsibility and getting involved in the details of compliance issues.

NB You must be eligible to hold the SMF 16 & 17, although no need to have held before so may suit someone looking for their first SMF role.

This is a fantastic opportunity for a confident and polished individual with strong interpersonal skills to join a hugely successful Global Asset Manager in a very visible and influential role as they launch in the UK and the EU.

If you feel you have the above average interpersonal skills and technical knowledge to be successful in this role, please send your details to (including a contact number & email) however please note we cannot always reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission). 

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Symes Collins is acting as an employment agency in relation to this role.  The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through applying, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.